Compliance Officer Course – 2 day course

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Date(s) - 24/03/2020 - 25/03/2020
9:00 am - 4:00 pm



Are you worried about Compliance?  The rules can be complicated and very difficult to understand. Firms can sometimes worry if they are doing enough? Are you doing the right thing and not falling foul of the regulations?   

Let us simplify it for you and you will know what to do and how to do it.  Our High Level 2 day comprehensive Compliance Officer course is designed by experts to help consolidate your existing knowledge and plug any gaps. We look at the key responsibilities of a compliance officer, explore the various regulatory risk areas, and help you through the minefield of complex FCA rules, guidelines and requirements

About the course

Topics covered in the 2 days include

  •  Understanding the roles and responsibilities of the Compliance Officer
  • A look at controlled functions and the responsibilities of Directors and Approved Persons
  • The Senior Managers Regime
  • Understanding the FCA objectives; their approach and their expectations, including a look at how they supervise firms, enforcement, recent fines and thematic reviews
  • The Insurance Distribution Directive
  • Sales (retail and commercial), including ICOBS, documentation, TOBAs, scripts and financial promotions
  • Financial Management and understanding Client Money and Risk Transfer agreements
  • Evidencing effective Governance and controls/ Identifying and managing Conflicts of Interest
  • The Compliance plan/ Risk Management
  • Training and Competence, including recruitment, supervision and monitoring (file checks, audits etc)
  • Managing business partners (Appointed Reps, Introducer Appointed Reps, Outsourced functions)
  • Complaints Handling Rules/ Treating Customers Fairly
  • Financial Crime, General Data Protection Regulation , Anti-Bribery and Money Laundering (as it applies to General Insurance)
  • Regulatory submissions and reporting requirements

Who should attend?

This two day session provides an excellent update and refresher session for existing compliance officers  – you will benefit from a recap of the key regulatory risk areas, a reminder of where your focus needs to be (and why), a look at the FCA’s current focus and expectations and a chance to ask questions on areas you need help with.

Company Directors, Approved Persons, those new to the compliance role, or those who carry the responsibility of compliance in addition to other roles within the business will also find this course invaluable.

Cost: £695 plus vat per delegate (for the 2 day course) and includes lunch and refreshments on both days.

To book complete and return the attached booking form or for enquiries contact the office on 0161 870 6637 or email

Feedback from previous attendees:

  • Great course that has given me a good background into the compliance  officer role
  • Great course for non-compliance people to get a really good grip of compliance
  • Interactive and informative
  • Excellent course
  • Very useful Course for anyone in Compliance or Senior Management
  • They made compliance easier to understand!

 Location to be announced (will be Manchester City Centre)

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